John T. Preston is listed as an executive officer, director, and promoter on 11 SEC Form D filings by 6 issuers between Apr 2009 and Sep 2024. Largest by amount reported sold: ExThera Medical Corp (Martinez, CA — other health care — 2021–2024; $20.6M reported sold to 66 investors), HIPP, LLC (San Francisco, CA — electric utilities — 2012; $12.5M reported sold to 3 investors), Vantem Global Inc. (Arlington, MA — other technology — 2021–2022; $10.1M reported sold to 6 investors), ALSERES PHARMACEUTICALS INC /DE (Hopkinton, MA — biotechnology — 2009; $3.9M reported sold to 1 investors), Vantem Composite Technologies LLC (Arlington, MA — construction — 2019) and 1 more (all listed below).
What this means A repeat sponsor — 6 separate companies raised money with this person listed as executive officer, director, and promoter, over about 15 years. Across those companies the filings report $47.1M sold in total.
Listed alongside Gary E. Frashier (3 shared filings), Henry Brem (3 shared filings), Kenneth L. Rice, Jr. (3 shared filings), Lakhmir Chawla (3 shared filings), Mark Pykett (3 shared filings) and 22 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around John. Each name links to their own page.
The issuers belong to 2 sponsor groups: Vantem (2 issuers, $10.1M reported sold, 2019–2022) and Avenue (12 issuers, $12.8M reported sold, 2015–2024).
What this means This person is listed across more than one sponsor team; each group page shows that team's full track record.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 8 bankruptcy cases matching the name listed in Key records below.
What this means 8 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.
We compared 11 public filings for John T. Preston and found 16 differences, 1 worth asking the sponsor about: Amount sold went down between filings; and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.